Compliance Manager

Compliance Manager – FinTech Investment Banking

Position: Financial Technology Partners is seeking a Compliance Manager.

Location: New York, NY or San Francisco, CA or Miami, FL

Company Description: Financial Technology Partners (aka “FT Partners”) is the only investment banking firm focused exclusively on the financial technology sector. We broadly define the sector as the dynamic convergence of technology-based solutions and financial services. FT Partners was recently recognized as "Dealmaker of the Year" and "Investment Banking Firm of the Year" by The M&A Advisor.

The firm was founded by Steve McLaughlin, Managing Partner, formerly a senior investment banker in Goldman Sachs & Co.'s Financial Technology Group and Financial Institutions Group in New York and San Francisco. The firm's Founder and senior bankers are all highly experienced investment bankers formerly with the financial technology, M&A and investment banking groups of Goldman Sachs & Co in New York, San Francisco, London and Los Angeles.

Role Description: Looking for a Compliance Manager that can manage and maintain employee CRD registrations and licensing. While keep abreast of regulatory developments and firm continued education element that FT Partners follows. Being able to monitor employee personal trading and reviewing electronic correspondence on an ongoing basis. This Compliance Manager will have to execute AML / KYC / CIP programs.

General Qualifications:

• 4-year college degree
• General knowledge of applicable regulatory requirements and expectations related to investment banking and broker–dealer activities
• Prior experience with FINRA compliance, preferably in investment banking
• Prior experience with investment advisor compliance a plus
• Working knowledge of federal and state compliance laws and regulations.
• Excellent verbal and written communication skills.
• Effective project management, organizational, analytical, and problem resolution skills.
• Must be results oriented and can work independently and meet deadlines.
• Meticulous attention to detail and ability to follow up on issues
• Ability to work with tight deadlines while maintaining a high degree of accuracy is essential.
• Strong analytical skills and ability to articulate regulatory requirements to staff and management.
• Strong interpersonal and communication skills – both oral and written are essential for effective communication.
• Ability to research regulatory requirements
• U.S. work authorization

Communications Skills:

• Exceptional writing and verbal communication skills, able to prepare high impact materials
• Participates effectively in both internal and external meetings 
• Maturity and poise to work directly with client executives

Team Player:

• Team player who can contribute to building a positive team spirit, keeps commitments, inspires the trust of others, works with integrity and ethically, and upholds firm values
• Ability to perform under pressure, amid tight deadlines; can effectively prioritize and plan
• Collaborative across teams and levels, both internally and externally
• Understands coaching for long term development of self and others  

Base Salary: $125,000-$175,000 

Why FT Partners?

• Managing Partner and Managing Directors formerly of Goldman Sachs and JP Morgan
• Award-winning execution; Investment Bank of the Year / Boutique of the Year Awards (among many others)
• Executing both billion dollar and early stage / high-growth VC transactions
• Excellent career path, strong and competitive compensation
• Unparalleled deal flow with premier client base
• Access to world-class executives at high-growth companies
• Dominant footprint in the one of largest sectors: financial technology
• Top-notch financial sponsor relationships
• Close-knit, rapidly growing team 

Selected transactions include advising:

• Heartland Payments in its $4.5 billion sale to Global Payments (NYSE: GPN)
• Assurance IQ in its $3.5 billion sale to Prudential (NYSE: PRU)
• Mercury Payment in its $2.0 billion sale to Vantiv (NYSE:VNTV)
• SquareTrade in its $1.4 billion sale to Allstate (NYSE:ALL)
• Finicity in its $985 million sale to Mastercard (NYSE: MA)
• Interswitch in its $200 million minority investment led by Visa
• Checkout.com in its $230 million minority investment from Insight, DST, GIC, and others
• CardConnect in its $750 million sale to First Data (NYSE:FDC)
• GreenSky in its $300 million minority investment led by DST, TPG, Wellington Management, and Iconiq
• Instamed in its $500 million sale to JP Morgan (NYSE: JPM)
• BlueVine in its $102 million minority investment led by ION
• Stone in its $1.4 bn IPO
• FleetOne in its $369mm sale to WEX (NYSE:WEX)
• AvidXchange in its $300 million financing from MasterCard (NYSE:MA), CDPQ, Temasek and Peter Thiel
• Automated Trading Desk in its $680 million sale to Citigroup (NYSE:C)
• Custom House Ltd. in its $370 million sale to Western Union (NYSE:WU)
• Addepar in its $140 million financing from Valor Equity Partners, 8VC and Harald McPike
• Automatic in its $115 million sale to SiriusXM (NASDAQ: SIRI)
• GoCardless in its $75 million minority investment from Adams Street Partners and Google Ventures

Inclusion and Equal Opportunity Employment: Financial Technology Partners is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors.

Salary : $125,000 - $175,000